SEC Wants Advisers To Register Online
- SEC proposes transition period for investment firms to register in Ohio. Hume, Lynn // Bond Buyer;02/02/99, Vol. 327 Issue 30570, p29
Reports on the United States Securities and Exchange Commission's proposed rule that would give small investment advisers in Ohio a year to change from SEC to state registration. Effective date of state rules; Deadline set by SEC for receiving comments on the issue; Small advisers regulation...
- SEC may ask big money managers to file electronically. Tie, Robert // Investment Dealers' Digest;07/14/97, Vol. 63 Issue 28, p9
Discloses that the US Securities and Exchange Commission is proposing that large institutional money managers be required to use electronic media when disclosing their holdings. Impact of the measure on money managers; Benefits of the measure to average investors.
- SEC Clarifies When FAs Are Also Ias. Hume, Lynn // Bond Buyer;09/21/2000, Vol. 333 Issue 30980, p1
Reports that the United States Securities and Exchange Commission has released a legal bulletin that requires independent financial advisers to register as investment advisers if they routinely advise municipal issuers on investing bond proceeds in non-governmental securities and receive...
- Look out for new funds touting old track records. Wang, M.B.; Wang, Penelope // Money;Oct96, Vol. 25 Issue 10, p52
Informs that the Securities and Exchange Commission (SEC) gave permission in August 1996 to two money managers to use old performance figures to promote new funds. SEC's issuance of two no-action letters, regarding cases of money managers Elizabeth Bramwell and Nicholas Applegate; Fund...
- SEC Issues 'Investor Alert' About Analysts. Heller, Michele // American Banker;6/29/2001, Vol. 166 Issue 125, p20
Announces the United States Securities and Exchange Commission's warning of investors against making decisions based solely on analyst recommendations. Outlining of the potential for conflicts of interests among analysts who work for firms that underwrite or own securities they cover.
- SEC: Ease Adviser Disclosures. Mitchell, Donna // American Banker;7/27/2010, Vol. 175 Issue 114, p7
The article examines changes made by the U.S. Securities & Exchange Commission (SEC) to regulations governing brochures issued by investment advisers.
- SEC chairman says political-contributions ruling will come soon. Ring, Niamh // American Banker;3/31/1999, Vol. 164 Issue 61, p2
Focuses on the United States Securities and Exchange Commission's consideration of a rule on pay-to-play abuses among investment advisers to public pension funds. Possible adoption of a rule to curb the use of political campaign contributions to secure pension fund management business;...
- Advisers Fear SEC Database Plan. Brown, Doug // Inter@ctive Week;07/24/2000, Vol. 7 Issue 29, p11
Focuses on the issue over the public database that the United States (U.S.) Securities and Exchange Commission (SEC) plans to build that will open to consumers the disciplinary records, financial practices and business methods of federally registered investment adviser firms in the U.S.. ...
- RIA Disclosure Getting Clearer. // American Banker;5/4/2011, Vol. 176 Issue 69, p7
The article discusses disclosure requirements for brochures created by registered investment advisers (RIA) for their clients and information about the U.S. Securities and Exchange Commission's database that is available to the public.